Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) in late 2014 has revealed that {A}, then CGH executive responsible for the underwriting of TAKUNI and CCN securities, used nominee accounts to
500,000 baht the law requires, he was fined at such amount.In addition, as Chai is a director of Bangkok Life Assurance PCL, which is a Limited Brokerage, Dealing and Underwriting (LBDU) licensee, he is
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no
license (limited brokerage, dealing or underwriting of investment units). The minimum paid-up capital requirement will be lessen from 100 million baht to 10 million baht for the applicant that has no client
ตั้งเป็นผู้จัดจำหน่ายหลักทรัพย์ (Underwriting Agreement) ในต่างประเทศกับกองทุนรวมได้หรือไม่ ข้อ 2 กองทุนรวมอสังหาริมทรัพย์ (กอง 1) สามารถจัดให้มีการจัดจำหน่ายหลักทรัพย์ในต่างประเทศได้หรือ
brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; (5) private fund management. 1The provision under Paragraph 1 shall not be applicable to a licensee under Paragraph
: (1) securities brokerage; (2) securities dealing; (3) securities underwriting; (4) mutual fund management; 2 Amended by the Notification of the Securities and Exchange Commission No. KorMor. 19/2560 Re
securities brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “ agent ” means a person who is appointed by a securities
brokerage, securities dealing, investment advisory service, securities underwriting, mutual fund management or private fund management; “agent” means a person who is appointed by a securities company as its